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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-08-26 |
| CA | RA | APPROVED | 2009-10-23 |
| OH | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Redlands | CA | 10/2009 | Present |
| Bank Of America, N.A. | Ontario | CA | 06/2011 | Present |
I*98103 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UBER INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN FRANCISCO, CALIFORNIA 94105 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 9/20/2016 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: UBER DRIVER. RESPONSIBLE FOR TRANSPORTING PASSENGERS TO VARIOUS DESTINATIONS.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-12-23 |
| S65 | Uniform Investment Adviser Law Examination | 1994-12-23 |
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